Asset Management Compliance Solutions | RegTech Software

Regulatory change and increased scrutiny of compliance in asset management present major challenges for firms. Organizations are under intense pressure to modernize their compliance operations in order to cope with the growing number of requirements, systems, and data sources.

SteelEye’s market-leading software enhances regulatory compliance in asset management using advanced automation, data consolidation, and machine learning. The asset management compliance solutions streamline trade surveillance and communications oversight while reducing the risk of non-compliance.

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“50% of firms view regulatory reporting as one of their top investment priorities for the year ahead.”

[Source: Annual Compliance Health Check Report 2022]

Asset management compliance made simple
with innovative data consolidation

Stricter rules require asset management compliance and data management processes to be watertight to avoid sanctions or reputational damage.

SteelEye’s cutting-edge RegTech platform consolidates your data and simplifies your transaction reporting, communications oversight, and trade surveillance – enabling you to effortlessly satisfy regulatory compliance obligations. Data is stored in an immutable, internationally compliant format (in line with CFTC, FINRA, IIROC, MiFID II, MAR, SEC rules, and more) for robust record-keeping and eDiscovery. Qualitative validation ensures your reporting, oversight, and risk detection meet regulatory standards.

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Take control of your data with SteelEye

SteelEye gives you greater control of your data for compliance purposes and beyond. Get a consolidated view of your transactions and communications, and benchmark your performance against the wider market.

Here’s what you can expect from our Asset Management compliance platform:

A single platform for asset management compliance

Manual processes, legacy systems, and data silos undermine regulatory compliance for asset management firms. To ensure you remain compliant, you need a solution that manages your data effectively. SteelEye offers a single platform for all your data – consolidating disparate datasets to ease your workload, mitigate risks, and enable effortless record keeping, trade reconstruction, and analytics.

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Holistic oversight and surveillance

As part of the asset management compliance requirements, regulators expect firms to carry out proactive data monitoring to identify suspicious activity and threats. SteelEye’s holistic surveillance solution, smart reporting tools, and advanced algorithms examine and monitor trading and communications data to strengthen your market abuse detection, reduce false positives, and ensure risks are flagged and dealt with quickly.

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Leverage integrated data for unparalleled insights

Our holistic data management solutions allow you to leverage your data for a range of purposes, from building bespoke reports to intricate analytics and management information. Our next-generation Insights tool integrates disparate data sets, giving you microscopic vision over your order and trade data so you can search, visualize, and analyze your performance in real-time.

Discover the next-gen data insights tool

Ensure Best Execution

SteelEye’s comprehensive and asset class-agnostic Best Execution solution enables effortless and continuous best execution monitoring and transaction cost analysis. Data is automatically enriched with external tick and reference data from a range of international exchanges. The platform enables you to set up alerts, detect outliers from your Order Execution Policy (OEP), and deploy rapid backtesting.

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How SteelEye addresses regulatory compliance
challenges in asset management

Data quality is one of the biggest barriers to reliable regulatory compliance in asset management. Our award-winning software helps compliance officers to keep up with global regulations and address key asset and wealth management compliance issues, such as:

Vast amounts of data from a growing number of sources
Silos, misalignment, and unstructured data
Legacy systems and processes
Regulatory change and increased scrutiny

SteelEye’s solutions are designed by regulatory experts, market practitioners, and data scientists who understand asset management compliance needs. Our intuitive RegTech platform enhances data management, improves data quality, eases compliance worries, and helps you gain a competitive edge.

“The SteelEye implementation has helped us to improve the level of control and accuracy we have around our MiFID II transaction reporting. We selected SteelEye because of the quality of their technology, the regulatory expertise demonstrated by their team, and their willingness to support our tight implementation timelines.”

“We were looking for an independent vendor that would enable us to proactively manage our regulatory obligations. We also wanted a solution that would allow us to respond to regulatory change quicker. SteelEye was the perfect fit.”

“We were looking for a solution that would allow us to meet our regulatory requirements and consolidate our ever-growing number of supported platforms, communication channels, and trade and order systems. SteelEye provided that solution.”

“We were impressed not only by the SteelEye user interface and features but by the fact that everyone we met was genuinely trying to solve our problems, not just sell us a solution.”

Key benefits of SteelEye's
Asset Management compliance solutions

Comprehensive data consolidation

Managing multiple vendors and bringing together data from various sources is a headache for compliance officers. Our solution consolidates your data for effortless record-keeping, regulatory reporting, trade surveillance, and communications oversight. The ability to overlay and make sense of both structured and unstructured data on a single platform is a game-changer.

Ease of use and cost-savings through efficiency

The efficiency of our cloud-based data management platform drastically reduces your workload and provides cost efficiencies for your asset management firm. With speedier investigations, rapid data searches and exports, and advanced workflow automation, you can save both time and resources. The platform can be accessed and used by multiple departments with easily configurable access rights and restrictions.

Enhanced data management & insights

SteelEye’s advanced data management capabilities give you full visibility and control of your trading and compliance operations while our cutting-edge analytics provide timely insights on risks and opportunities. These insights give you a competitive edge and scope to improve performance.

Reduced risk of non-compliance

Penalties for regulatory breaches are a big concern for wealth and asset management firms. You need demonstrable compliance across all activities. Our system tracks every interaction, from data ingestions and regulatory processes, to each login, change, or search made.

Why leading firms use SteelEye to bolster regulatory compliance

Combining automation, AI, and machine learning technologies, SteelEye enables firms to meet regulatory obligations more efficiently and accurately than any other solution. Integrate an unparalleled range of systems for holistic data management, compliance, and insight.

See our data-driven compliance platform in action

Watch this short video to get a glimpse of how our regulatory compliance tools work.

If you’d like a deeper look at the software, you can get a SteelEye demo. Take a test drive of our award-winning RegTech platform!

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Ready to transform asset management compliance with SteelEye?

Our platform is built to meet today’s regulatory compliance requirements, as well as those of the future, for a seamless and continuous experience. To learn more about our wealth and asset management compliance solutions, message us at sales@steel-eye.com or call +1 516-777-9931. You can also request a free consultation, where we’ll arrange a tailored session to discuss your key business challenges and how we can help you transform your compliance capabilities.

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Future-proofing regulatory compliance in Asset Management